Practice Management

Displaying 9374 results
OPINION JUL 19, 2017
Improving the efficiency of wealth transfers

Passing wealth to the next generation requires a cohesive plan that includes preparing heirs from an early age.

By Ted Kurlowicz
FINTECH JUL 18, 2017
Get started with Lists: The best part of Twitter you're not using

Think you know everything there is to know about Twitter? Think again. And get ready to be wowed.

By Scott Kleinberg
FINTECH JUL 17, 2017
Rehabilitating a besmirched reputation online can cost time and money

Negative links can cause prospects to disappear and clients to ask questions.

By Liz Skinner
PRACTICE MANAGEMENT JUL 17, 2017
What we can learn from Amazon's acquisition of Whole Foods

All firms must constantly evolve, find ways to lower costs and deepen relationships with customers.

By Joe Duran
PRACTICE MANAGEMENT JUL 14, 2017
Edward Jones fined $750,000 over account aggregation violations

Finra says firm did not have adequate procedures to track consolidated reports to clients.

By Bloomberg
PRACTICE MANAGEMENT JUL 14, 2017
Kids make same financial mistakes as parents: study

A study of 30 million personal loans finds that when it comes to risk attitude, the apple doesn't fall far from the tree.

By Bloomberg
PRACTICE MANAGEMENT JUL 14, 2017
Wells Fargo sustains more adviser losses following banking scandal

One hundred and thirty advisers left in the second quarter, marking the firm's third consecutive quarter of reductions.

By Greg Iacurci
PRACTICE MANAGEMENT JUL 12, 2017
Finra hits State Street with $1.5 million fine for electronic record-keeping violations

Regulator censured the firm for failing to maintain copies of messages.

By InvestmentNews
PRACTICE MANAGEMENT JUL 12, 2017
Seeking to protect client assets, SEC may have hurt the client

The custody rule can put unnecessary burdens on both the adviser and the client.

By Edward H. Klees and James W. Van Horn, Jr.
PRACTICE MANAGEMENT JUL 11, 2017
With fiduciary rule in place, two broker-dealers cut adviser compensation

LPL is eliminating some bonuses, while Raymond James is trimming compensation in its employee channel for those producing more than $300,000 in revenue.

By Bruce Kelly
OPINION JUL 10, 2017
How advisers can make referrals their most effective tool for growth

The solution to "If I think of someone, I'll let you know."

By Amy Parvaneh
FINTECH JUL 10, 2017
How technology will amplify the humanity in financial advice

Powered by data and analytics, the human component of advice will become even stronger.

By Naureen Hassan
PRACTICE MANAGEMENT JUL 07, 2017
What advisers have to do when clients lie

Clients lie for all sorts of reasons, but advisers have to move beyond recrimination to salvage the relationship.

By Vanessa Drucker
FINTECH JUL 06, 2017
Advisers envision a disrupted advice industry if Amazon shows up

Amazon serves up great prices at an amazing speed. Could it make financial advice easy, too?

By Liz Skinner
FINTECH JUL 05, 2017
Changing the financial advice industry narrative: put the client first

It is incumbent upon us all to meet the quickly evolving needs and expectations of our customers.

By Steve Dunlap
PRACTICE MANAGEMENT JUL 05, 2017
Why financial advisers need to actively manage their continuity plans

Revisit the agreement annually to ensure the partnership continues to meet the needs of the buyer, seller and clients.

By Joni Youngwirth
PRACTICE MANAGEMENT JUL 05, 2017
Who the winners are in the implementation of the DOL fiduciary rule

Certain firms may find themselves facing even greater competition as they focused more on compliance instead of strategy.

By Michael Spellacy
FINTECH JUN 30, 2017
Are regulators equipped to monitor robo-advisers as fiduciaries?

Academics encourage agencies to boost their digital exam tools now, before automated platforms get even bigger.

By Liz Skinner
FINTECH JUN 29, 2017
Fintech sales take off after DOL fiduciary rule's partial implementation

Interest in fiduciary-related fintech previously cooled following the election of President Donald J. Trump.

By Liz Skinner
PRACTICE MANAGEMENT JUN 29, 2017
Advisory firms rethinking how they deliver value: Fidelity survey

Advisory leaders believe "fulfillment" will take precedence over money management.

By InvestmentNews